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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2016-11-17
TX RA APPROVED 2016-11-10
  • GA RA
    APPROVED
    Since 2016-11-17
  • TX RA
    APPROVED
    Since 2016-11-10

Branch Locations

1150 Sanctuary Pkwy Ste 410, Alpharetta, GA 30009 • United States

Marietta, GA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Kalos Capital Marietta GA 10/2011 11/2016
Ameriprise Financial Services, Inc. Marietta GA 11/2016 03/2020
Ameriprise Financial Services, Llc Alpharetta GA 03/2020 Present
  • 10/2011 → 11/2016
    Kalos Capital
    Marietta, GA
  • 11/2016 → 03/2020
    Ameriprise Financial Services, Inc.
    Marietta, GA
  • 03/2020 → Present
    Alpharetta, GA
Previous Registrations
  • 2011-10-11 → 2016-11-10
    Kalos Management
    Marietta, GA
    Ponte Vedra Beach, FL
    Marietta, GA
  • 2011-02-02 → 2011-10-04
    Midland, MI
    Atlanta, GA
Other Businesses

Business Ownership; Causey Streeter, CPAs, LLC; I am the owner and president. The firm was previously known as Private Client Tax Solutions, LLC. I bought a CPA firm from Wendell Causey, CPA.; Tax Preparation; 2887 Brookcliff Lane, , Marietta, GA, 30062; Not Investment-Related; 10/11/2011; 40 to 59 hours per month; 20 to 39 during trading hours / Flying C Holdings, LLC; Owner; Manage Ameriprise Business; 2887 Brookcliff Lane, , Marietta, GA, 30062-4856; Investment-Related; 09/23/2025; 10 to 19 hours per month; 10 to 19 during trading hours. Board of Directors; Board of Directors, Brotherhood of St. Andrew; Director; 1795 Johnson Ferry Rd, , MARIETTA, GA, 30062; Not Investment-Related; 05/01/2024; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Flying C Holdings, LLC; Owner; Manage advisory business; 2887 Brookcliff Lane, , Marietta, GA, 30062; Investment-Related; 11/09/2016; 10 to 19 hours per month; 10 to 19 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-12-28
  • S63 Uniform Securities Agent State Law Examination
    2005-12-28
Designations

View on SEC IAPD

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